expiration of the approval term can submit their ‘pass’ examination result or their graduation evidence in filing for renewal approval with the Office without having to attend any further training. 3
Notification: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage, securities dealing and securities underwriting which is not limited to debt
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
take the computer out of the company such as deliver to repair or destroy the information which stored in media recorder the etc.. [A] 2. Controlling the users privilege · Determining the privilege for
generally for the implementation of the provisions of this Act. In order to implement the first paragraph, the Minister may entrust any governmental agency under his supervision to carry out duties on his
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
, securities financing, securities dealing or securities underwriting which is not limited to debt instruments, but not including any company licensed to undertake securities business in the category of
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in